providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
the trading price of investment unit of an ETF fund in an organized market to proximately reflect the value of such investment unit which is calculated from the net asset value of the fund by trading
price of investment units of an ETF fund in an organized market to proximately reflect the value of such investment units which is calculated from the net asset value of the fund, by trading investment
as organized by the SEC Office, shall be the dispute that represents the amount of damages claimed by each customer not more than one million baht. Clause 2. This Notification shall come into force as
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s
รอง (organized market) สำหรับการซื้อขายหน่วยลงทุนของผู้ลงทุนใด ๆ โดยบริษัทได้จัดให้มี ผู้ลงทุนรายใหญ่อย่างน้อยหนึ่งรายที่พร้อมจะซื้อและขายคืนหน่วยลงทุนเพื่อให้ราคาซื้อขายหน่วยลงทุน ในตลาดรองสะท้อนมูลค่า
เอฟในตลาดรอง (organized market) สะท้อนมูลค่าหน่วยลงทุนของกองทุนรวมดังกล่าวที่คำนวณจากมูลค่าทรัพย์สินสุทธิของกองทุนรวมได้อย่างใกล้เคียงกัน ทั้งนี้ โดยการซื้อขายหน่วยลงทุนของกองทุนรวมอีทีเอฟและหลักทรัพย์
use. ---------------------- Notification of the Office of the Securities and Exchange Commission Re: Arbitral Process Organized by the Office _____________ With regard to the Office’s providing of the
preceding year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared with that of the competitors, competitiveness and potential
seminars organized either by securities companies or training institutes accepted by the Office; (2) Being a speaker, lecturer, full-time or guest instructor at universities accepted by Office. 1.2 Scope of